Job Summary
The Branch Inspection Program is one pillar of the US Broker-Dealer Shared Services team responsible for reviewing for compliance with FINRA Rules 3110 and 3120, NFA Rule 2-9, MSRB Rule G-27, and various internal Firm policies and procedures. The Program reviews for compliance across four broker-dealers within the RBC umbrella: RBC Capital Markets LLC (encompasses both retail and institutional businesses), RBC CMA Ltd., City National Securities, Inc., and CNR Securities, LLC.
Job Description
Examiner is expected to complete numerous virtual inspections per year of various Firm locations.
The employee is expected to verify accuracy of branch questionnaire responses and internal books and records via review of RBC systems, FINRA Gateway, and the Internet.
Employee will participate in discussions with onshore team to escalate concerns or findings found in questionnaire.
Employee must assist with the summarization of reviews in a written final report, maintain appropriate documentation to support reviews and findings/issues, and escalate any areas where concerns were noted. The final report will be distributed to business stakeholders, inclusive of senior management.
If warranted, employee may need to be in contact with registered representatives under review via e-mail or phone/Webex as it relates to the inspection process.
Willing to assist with special projects as they arise. Examples include but are not limited to relevant investigations, complaints, escalations, Regulatory Compliance Management (RCM), etc.
Must have:
Familiarity with Capital Markets and/or Wealth Management products, strategies, and activities at a U.S.-registered broker-dealer.
Experience in roles in any of the following areas: Compliance Testing, Quality Assurance, Branch Inspections, Surveillance, and/or Internal Audit.
Nice to have:
Knowledge of FINRA (particularly Rule 3110), SEC, and MSRB expectations, rules, and regulations.
Masters or Law School Degree.
Skills & Capabilities:
Excellent attention to detail, organization, and high analytical skills.
Strong interpersonal and communication skills, including ability to communicate reviews professionally and effectively, while using discretion with sensitive and confidential data.
Strong team player who does not operate in a siloed capacity and values collaboration.
Ability to learn and apply concepts independently after a period of time.
Maintains a curious nature and can ask the next question.
Ability to check and challenge in a professional manner.
Job Skills:
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking.
Additional Job Details
Address:PERSIARAN IRC 2, IOI RESORT CITY IOI CITY TOWER ONE:PUTRAJAYA
City:Putrajaya
Country:Malaysia
Work hours/week:40
Employment Type:Full time
Platform:CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:Regular
Pay Type:Salaried
Posted Date:2024-11-14
Application Deadline:2024-12-23
Note:Applications will be accepted until 11:59 PM on the day prior to the application deadline date above.
Inclusion and Equal Opportunity Employment
At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients, and communities.
We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.
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